Communications to Firms
Stay current on FINRA’s communications about timely regulatory issues, including Board of Governors meeting updates, the annual examination priorities letter and issues of importance to small firms.
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September 30, 2016 September 2016 Board Update |
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September 22, 2016 Rulemaking Items for Discussion at the September 2016 Meeting The FINRA Board of Governors will consider the following rulemaking items at its September 2016 meeting. After the meeting, FINRA will notify firms via email about the Board’s action and anticipated next steps, if any. |
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July 15, 2016 Update: FINRA Board of Governors Meeting Rulemaking items discussed at the July Board meeting include: alternative display facility; desk research exemption from debt and equity research rules; and expansion of TRACE to U.S. Treasury Securities. |
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July 15, 2016 July 2016 Board Update |
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July 8, 2016 Rulemaking Items for Discussion at the July 2016 Meeting The FINRA Board of Governors will consider the following rulemaking items at its July 2016 meeting. After the meeting, FINRA will notify firms via email about the Board’s action and anticipated next steps, if any. |
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May 6, 2016 Update: FINRA Board of Governors Meeting Rulemaking item discussed at the May Board meeting include: disruptive quoting and trading activities; gifts, gratuities and non-cash compensation; broadening chairperson eligibility in arbitration; motions to dismiss in arbitration; and panel selection in customer cases with three arbitrators. |
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May 6, 2016 May 2016 Board Update |
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March 23, 2016 A Few Minutes with FINRA: Digital Investment Advice Report Dan Sibears, FINRA’s Executive Vice President of Regulatory Operations – Shared Services, expands upon the organization’s March 2016 Digital Investment Advice Report. |
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February 26, 2016 Update: FINRA Board of Governors Meeting Rulemaking item discussed at the February 2016 meeting: fixed income pricing disclosure. |
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February 26, 2016 February 2016 Board Update |